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Table of Contents Preface xv Acknowledgments xix Chapter 1: Introduction I. The Nature of the Problem 1 II. Definition of Indigenous Spoliation 10 A. Focus on Heads of State and Other High Ranking Officials 17 1. Jurisprudential Basis for Heads of State Liability 17 2. Pragmatic Grounds for Singling out Heads of State 19 III. Domestic Consequences of Indigenous Spoliation 24 PART I: INDIGENOUS SPOLIATION AS AN INTERNATIONAL ECONOMIC CRIME Chapter 2: Indigenous Spoliation as an International Crime I. The Character of Crimes 37 II. The ILC¿s Attempts at Defining an International Crime 44 A. Regimes of Responsibility in International Law 44 B. Codification of State Responsibility 45 C. The Old Regime of State Responsibility 46 D. Ratio Legis of Draft Article 19 48 E. Reactions to Draft Article 19 51 1. Perspective of Publicists 51 2. Reactions by Governments 54 3. Consequences of Draft Article 19 55 4. 1998/1999 Government Comments 57 5. The Undoing of draft Article 19 58 6. Changing World Order 60 a. An Ill Advised Strategy 58 b. Never Accepted 59 7. Lack of State Practice and Judicial Decisions 61 F. The New Regime of State Responsibility 61 1. Injured States 66 2. Consequences and Obligations 67 III. Jurisprudence on the Draft Articles on State Responsibility 67 A. International Court of Justice 67 B. International Tribunal for the Law of the Sea 69 C. International Centre for the Settlement of Investment Disputes (ICSID) 70 D. United Kingdom House of Lords 70 IV. Individual Responsibility 71 A. Characteristics of International Crimes by Individuals 72 V. Points of Contact between the Draft Articles, the Draft Code and the Writings of Publicists 74 A. Brightline Tests 75 1. The Test of Essentialness 75 2. Transnationality of Effects 76 3. International Community Recognition 77 4. The Character of Erga Omnes Obligations or Jus Cogens 78 i. Obligations Erga Omnes 78 ii. Norms of Jus Cogens 81 B. Indigenous Spoliation As an International Crime 81 1. Transnationality 82 2. Essentialness/Effects Test 82 3. Character of Jus Cogens 83 4. International Community Recognition 84 Chapter 3: Indigenous Spoliation as a Breach of Fundamental Human Rights Grounded in Customary Law I. Customary Law Doctrine 85 II. The Doctrine of Permanent Sovereignty: Its Origins, Content and Relation to Indigenous Spoliation 86 A. Permanent Sovereignty and Self-Determination 86 1. The Draft Covenants on Human Rights 86 a. Second Committee Debates ¿ 1952 88 b. The Ninth Session of the General Assembly Debates ¿ 1954 91 c. The Human Rights Commission Debates ¿ 1955 92 d. The Third Committee Debates ¿ 1955 93 2. The Economic and Social Council Debate on Implementation ¿ 1955 99 3. The Commission on Permanent Sovereignty Over Natural Resources ¿ 1959-61 99 4. Debates Preceding Resolution 1803 102 5. Resolution 1803 103 6. Other Developments 1963-66 106 a. Secretary General¿s Report ¿ 1963 106 b. The ECOSOC¿s Session ¿ 1964 106 c. The Second Committee¿s Session ¿ 1965 106 d. Special Committee Debate ¿ 1966 107 e. The Second Committee¿s Session ¿ 1966 108 f. Resolution 2158 109 III. Permanent Sovereignty & the Creation of a New Economic Order 111 A. Special Session of the General Assembly ¿ 1974 112 B. The New International Economic Order 113 C. The Charter of Economic Rights and Duties of States 115 D. Link between Permanent Sovereignty and Indigenous Spoliation 118 Chapter 4: Indigenous Spoliation as a Breach of International Customary Law of Fiduciary Relations I. Custom in International Law 123 II. The Doctrine of Fiduciary Relations 124 III. The Trust as the Basis for Fiduciary Relationships 126 A. Anglo-American Common Law 126 B. Trust Principle Under Civil Law 127 C. Islamic Law 131 1. A Brief Overview of Islamic Shari¿a 131 2. Sources of Islamic Shari¿a 131 3. The Binding Effect of the Various Sources of Shari¿a 132 4. Trust, Fiduciary Relationship and Obligation 133 IV. The Fiduciary Relationship in the International Sphere 135 A. Origin and Evolution of an International Fiduciary Duty 135 1. The View of Publicists 137 a. Mandate 138 b. Tutelage 139 c. Trust. 142 2. Judicial Decisions 145 a. The International Court of Justice 145 b. National Courts 149 V. Bases for Imposing Fiduciary Obligations on Public Officials 154 A. The Entrusting Theory 154 1. Constitutional Grant of Powers 154 2. Public Trust Doctrine 157 B. Voluntary Assumption Theory of Fiduciary Obligation 159 1. A Conscious and Voluntary Choice to Seek Public Office 159 2. Oath of Office 160 C. The Fiduciary Relationship in Perspective 164 1. The Duty of Loyalty 164 2. The Duty to Preserve The Trust Property 164 D. Application of Fiduciary Duties in Spoliation Situations 165 1. The Stewardship of Siaka Stevens 167 2. The Stewardship of Joseph Momoh 167 3. Other High Ranking State Officials 169 Chapter 5: State Practice in International Fora with Respect to Fiduciary Relations I. State Practice at the International Level 172 A. The First Stage in the Law¿Making Process 172 1. Background to the Resolutions on Fraudulent Enrichment 172 a. Eighth United Nations Congress on Crime Prevention 172 b. Eighth UNCTAD Conference 176 2. Resolutions on Fraudulent Enrichment 176 a. The Preparatory Work For Resolution 1992/50 177 b. 35th Meeting of the Sub-Commission 179 c. 52nd Meeting of the Commission on Human Rights 181 d. An Overview of Resolution 1992/50 184 3. The Legal Basis of Commission Resolution 1992/50 186 a. Role of the Commission 186 b. Composition of the Commission 187 c. The Vote to Adopt Resolution 1992150 188 B. The Second Stage in the Law-Making Process 189 II. The European Union Anti-Corruption Convention 190 III. The OECD Convention on Combating Bribery of Public Officials 192 IV. The Council of Europe¿s 1999 Criminal Law Convention on Corruption¿. 194 V. The Council of Europe¿s Civil Law Convention on Corruption 196 A. Definition of Corruption for the Purpose of Civil Law 197 B. Victim¿s Right to Compensation 197 C. Burden of Proof 198 D. Victims Contributory Negligence 199 E. Evidence Gathering 199 F. Protecting the Rights of Plaintiff-Victims and the Accused 200 G. Whistle-blower Protection 201 H. International Cooperation and Monitoring of Implementation 202 VI. The Inter-American Convention Against Corruption 202 VII.The African Union Convention on Preventing and Combating Corruption 206 A. Objectives of the Convention 207 B. Prohibited Practices 207 C. Prevention and Eradication 210 D. Engaging Civil Society 212 E. Assets Recovery 212 F. International Cooperation 215 G. Jurisdiction 216 VIII.The United Nations Convention Against Corruption 217 A. Preventive Measures 219 B. Offenses 220 C. Assets Recovery 222 D. Liability, Statute of Limitations and Immunities 224 E. International Cooperation 224 F. Monitoring Mechanism 225 Chapter 6: State Practice at the Domestic Level Criminalizing Acts of Corrupt Enrichment by Top Officials I. Constitutional Prohibitions 227 A. Haiti, Paraguay and Peru 227 B. Nigeria and Sierra Leone 230 C. The Philippines 231 II. National Legislation 232 A. Haiti 235 III. Special Constitutional Structures to Combat Spoliation 237 A. Commissions of Inquiry 237 B. Code of Conduct Tribunal 239 C. Anti-Graft Courts and Office of the Ombudsman 240 1. Office of the Ombudsman or Tanodbayan 240 2. Anti-Graft Court or Sandiganbayan 242 3. Relationship between Sandiganbayan and Tanodbayan 244 D. Special Military Tribunals 245 1. Investigation Panels 245 2. Special Military Tribunals 246 3. Special Appeal Tribunal 247 E. Corrupt Enrichment Under Romanian Law 248 IV. Commissions of Inquiry in Action 250 A. Composition 252 B. Terms of Reference 252 C. Proceedings 253 D. Recommendations 254 V. Statutory Anti-Corruption Bodies 255 A. Nigeria¿s Independent Corrupt Practices and Other Related Offenses Commission 255 B. The Philippines Presidential Anti-Graft Commission 257 C. Hong Kong¿s Independent Commission Against Corruption 258 D. Botswana¿s Directorate on Corruption and Economic Crime 263 VI. Jurisprudence 265 A. Acres International Limited 266 B. Elf-Aquitaine S.A. 268 C. Baker Hughes Incorporated 270 D. The Estrada Impeachment 271 E. The Corruption Trial of Frederick Chiluba 279 VII. Reprise 279 PART II: RESPONSIBILITY AND ACCOUNTABILITY FOR THE CRIME OF INDIGENOUS SPOLIATION Chapter 7: The Cult of Sovereignty as an Obstacle to the Principle of Leadership Responsibility for International Economic Crimes 285 I. The Cult of State Sovereignty 287 II. State and Sovereignty in Historical Perspective 296 A. The Doctrine of Absolute Sovereignty 296 B. The Historical Background 298 1. Some Basic Philosophical Assumptions 299 2. Political Realities 299 C. The Contemporary Application of the Absolutist Doctrine 302 1. Bodin and the Modern Presidential Regimes 302 2. The Continued Vitality of Sovereign Immunity Doctrines 303 III. Reprise¿¿¿ 307 Chapter 8: Judicial Barriers to Holding Heads of State Individually liable for Acts of Indigenous Spoliation I. The Case Law 310 A. The Defense of Forum Non Conveniens 310 1. Application of forum non conveniens in Spoliation Cases 310 B. Foreign Sovereign Immunity and the Act of State Defense 311 1. The Act of State Doctrine as a Defense in Spoliation Cases 316 C. Reprise 320 II. Other Obstacles to Recovery of Assets 321 A. Bank Secrecy laws 322 1. Swiss Bank Secrecy Laws 323 a. History of Swiss Bank Secrecy Laws 323 III. A Bird¿s-eye View of Swiss Banking Secrecy 325 A. Bank Secrecy Statutes 325 1. Swiss Banking Law of 1934 325 2. Article 273: Economic Information in the Interest of a Foreign Country 326 B. Civil Tort and Contract Liability 328 C. Administrative Sanctions 329 D. Exceptions to Swiss Banking Secrecy 329 1. Customer Consent 330 2. Disclosure Required by Certain Swiss Authorities 330 IV. Bilateral and Multilateral Agreements 331 A. Treaty for Mutual Assistance in Criminal Matters 331 1. The Origins of Mutual Assistance and Organized Crime 331 2. Treaty for Mutual Assistance in Criminal Matters 332 3. Swiss Memorandum of Understanding 334 4. Federal Law on Mutual Legal Assistance in Criminal Matters 335 V. Recent Regulatory Developments 338 A. New Anti-Money Laundering Provisions 338 B. Effect of the New Law 341 VI. The Response of the Banking Industry 342 A. Due Diligence Convention and Form B Accounts 342 B. Gauging the Effect of the Bankers¿ Response 344 C. Effect of these Changes on Spoliated Funds 345 Chapter 9: Toward a Framework for Holding Constitutionally Responsible Rulers Individually Liable for Acts of Indigenous Spoliation I. The Doctrine of Individual Responsibility 348 A. Distinction Between Leaders and Citizens 357 II. On Rights and Duties 360 A. The Logical or Moral Correlativity Theory of Rights 360 B. The ¿Essential Element¿ Theories of Right 361 1. Rights-As-Claims 361 2. Rights-As-Entitlements 362 C. Functional Theories of Rights 363 1. Wellman¿s ¿Dominion-If-Respected¿ Model 363 2. Rights and Duties 365 3. Privileges and ¿No-Rights¿ or ¿No-Claims¿ 365 4. Powers and Liabilities 366 5. Immunities and Disabilities 366 III. Rights and Duties With Respect to National Wealth 371 Chapter 10: Legal Basis of Jurisdiction over Crimes of Indigenous Spoliation I. Extra-Territorial Jurisdiction in International Law 375 A. The Universality Principle 376 II. Duty of All States To Prosecute Acts of Indigenous Spoliation 382 A. The Conspiracy of Silence 384 B. Privileged Treatment for Heads of State Guilty of Spoliation 388 C. The Problem of Jurisdiction Over Non-Resident Spoliators 388 D. Spoliated Capital Invested in Western Countries 393 E. The Absence of Independent Judiciaries in Victim States 394 III. Issues of Procedural Capacity For Other Types of Plaintiffs 396 A. The Question of Locus Standi to Bring Suit 396 B. Successor Governments as a Proper Party 400 1. General Status of the Law 400 2. Application to Successor Governments Suing Former Dictators for Domestic Spoliation in U.S. Courts 402 IV. The Individual as a Proper Party Suing in the Name and on Behalf of All Citizens of the Victim State 404 A. The Class-Action 404 1. Legal Requirement 404 2. Application to an Individual Citizen of a Spoliated State Suing on Behalf of All Injured Citizens 407 B. The Derivative Action 408 1. The Legal Mechanism 408 2. Application to an Individual Citizen 413 C. The Citizen as a Private Attorney General 414 1. Going About Filing a qui tam Complaint 414 2. The Status of U.S. Law Following Lujan 418 3. Application to an Individual Citizen Seeking to Sue for Domestic Spoliation 418 D. Tax-Payer Standing 419 1. Status of the Law 419 2. Application to a United States Taxpayer Claiming Relief from Spoliation of Tax Money by Foreign Rulers 420 Conclusion I. The International Law Crime of Indigenous Spoliation 421 A. State Practice 421 B. Expressions of International Concern 422 C. The Perspective of Publicists 425 II. Procedures for Norm Implementation 426 A. The Multilateral Treaty Approach 426 B. Proscribing Indigenous Spoliation as a Conditionality for Foreign Aid and Commercial Bank Credits 427 C. Involving Victim States in the Prevention and Punishment of Indigenous Spoliation 428 D. Treating Indigenous Spoliation not as a Property Dispute 432 APPENDICES Appendix I: United Nations Convention against Corruption 437 Appendix II: African Union Convention on Preventing and Combating Corruption 489 Appendix III: Civil Law Convention on Corruption 507 Appendix IV: Criminal Law Convention on Corruption 517 Appendix V: Additional Protocol to the Criminal Law Convention on Corruption 531 Appendix VI: Convention on Combating Bribery of Foreign Officials in International Business Transactions 537 Appendix VII: Inter-American Convention against Corruption 545 INDEX ¿¿¿.. 555
Library of Congress Subject Headings for this publication:
Political corruption.
Heads of state.
Unjust enrichment (International law).